Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1326 results. Displaying page 4 of 89

  1. 14 June 2021

    June 2021 Regulatory Impact Statement - Exemptions for Catalist Markets listed issuers for same class offers and small offers

    This document is for issuers listed on Catalist Markets, their
    advisers, and other interested parties. It discusses
    exemptions to enable Catalist listed issuers to make ‘same
    class’ offers and small offers of $2 million or less through the
    RIS, Business
  2. 30 August 2014

    Guidance for one off issuers PDF

    This information sheet clarifies when one-off or occasional issuers must register on the
    Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).
    FSPR, Business
    PDF, Information Sheet
  3. 4 November 2021

    Record keeping self assessment tool

    Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required.
    Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
    Financial Adviser, New Financial Advice regime, Roles, Business
  4. 22 May 2017

    170522 Consultation Proposed exemption from obligation to prepare scheme financial statements for bundled unit trusts

    This consultation is for: managers, supervisors, auditors,
    administration managers, investors. It aims to: seek feedback on the exemption proposal for bundled unit trusts.
    Auditors, Supervisor, Consultations, Roles, Business